DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

S••••• S•••• D••••••

L•• F•••••••• L••BD affiliatedFort Mill, Sc dual registrantIAPD 6824736

Feed of 09/15/2026

Also filed as S••••• S•••• D••••••-James

At current firm

1 y

since May 15, 2025

In the industry

10 y

since Jan 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since May 15, 2025 · Fort Mill, Sc
S••••••• P•••••• F••••••••• L•• former
Jan 29, 2024 to May 15, 2025 · San Diego, Ca
C••• F•••••••• S•••••••• L••• former
Sep 26, 2022 to May 27, 2025 · San Diego, Ca
F•••• C•••••• A••••••• S••••••• BD affiliated
Feb 2, 2018 to Oct 13, 2022 · Twentynine Palms, Ca

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to S••••••• P•••••• F••••••••• L••
left May 27, 2025, registered Jan 29, 2024 (-484 days) · channel change inside one enterprise, not a move
S••••••• P•••••• F••••••••• L•• to L•• F•••••••• L••
left May 15, 2025, registered May 15, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
F•••• C•••••• A••••••• S••••••• to C••• F•••••••• S•••••••• L•••
left Oct 13, 2022, registered Sep 26, 2022 (-17 days) · Affiliated broker-dealer or bank to another

Signals

S••••• S•••• D•••••• left S••••••• P•••••• F••••••••• L•• for L•• F•••••••• L•• (registered 2025-05-15)
May 15, 2025 · Advisor changed firm · fact
S••••• S•••• D•••••• left F•••• C•••••• A••••••• S••••••• for C••• F•••••••• S•••••••• L••• (registered 2022-09-26)
Oct 13, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address